Compliance & Risk Management
Compliance and risk management for nonprofits.
Our Compliance & Risk Management services help nonprofits understand obligations, build workable policies, and monitor risk across the organization. We guide teams through IRS and state rules, grant requirements, and employment law, and help them strengthen governance and accountability.
We support nonprofits at different stages: those navigating initial registrations, organizations refining oversight systems, and agencies needing ongoing monitoring and risk review.
Nonprofits operate in a rules-heavy environment.
Missed filings or weak controls can lead to penalties, loss of status, or reputational damage. Regular compliance and risk management work lets your organization meet legal and funding requirements while staff stay focused on the mission.
Compliance, risk assessment, and governance support
We advise nonprofits on compliance, risk assessment, and governance so they can meet requirements, protect assets, and maintain public trust without slowing day-to-day work.
- IRS compliance and tax-exempt status maintenance (e.g., Form 990)
- Annual tax filings and the records behind them are mapped onto a calendar with a named owner for each, so nothing that protects exempt status is missed.
- State registration and annual reporting support
- Registrations, renewals, and charitable solicitation permits are listed with their due dates, and we help staff prepare each filing as it comes up.
- Organization-wide risk assessment and mitigation planning
- A structured review covers operational, financial, legal, and reputational exposure, then ranks each item and sets out a practical step to reduce it.
- Ethics and conflict-of-interest policy development
- We draft written policies the board can adopt, with disclosure steps and staff training so people know what to report and to whom.
- Governance framework design and implementation
- Board roles, committee duties, and decision rules are written down and put into use, giving leadership a clear basis for oversight and accountability.
- Audit preparation and practical compliance monitoring
- Records are organized ahead of an audit, and regular checkpoints afterward catch gaps early and trigger a corrective action plan when one is needed.
Who it’s for
- Nonprofits navigating initial registrations
- Organizations refining oversight systems
- Agencies needing ongoing monitoring
- Boards strengthening governance
How an engagement works
Pick any part of the sentence to see the detail.
We map tax filings, state registrations, grant terms, and employment law requirements, then set up a calendar and processes to stay current.
A structured assessment covers operational, financial, legal, and reputational risks across the organization.
Policies, procedures, training, insurance review, and monitoring systems are tailored to your risk profile and operating environment.
We provide ongoing monitoring, updates, and incident response, including corrective action plans if an issue is found.
Common questions
What are the key compliance requirements for nonprofits?
Common obligations include tax filings (such as Form 990), state registrations and renewals, charitable solicitation permits, employment law compliance, and adherence to grant terms. We help map requirements and set up a calendar and processes to stay current.
How do you build an effective risk management approach?
We conduct a structured assessment of operational, financial, legal, and reputational risks. Then we develop policies, procedures, training, insurance review, and monitoring systems tailored to your risk profile and operating environment.
What if we discover a compliance issue?
We assist with issue assessment, corrective action plans, communications with regulators or funders, and implementation of remedial steps, while putting controls in place to prevent recurrence.
Still have a question? Call (718) 540-8268, or see the nonprofits & community overview.
If you are not sure every filing and policy is current
- I inherited this job and do not know which filings we are behind on.
- Two public records are a good first check: your entry in the New York Attorney General's charities registry and your IRS filing history. The Attorney General's office says charities operating in New York generally must register and file annual financial reports. We then map each obligation into one calendar.
- Our conflict of interest policy is a template nobody has opened in years.
- The Attorney General's guide for directors says New York law requires nonprofits to have a written conflict of interest policy, and describes directors signing a disclosure statement each year. Bring what you have. We help rewrite policies to match how your board works, then set up the annual routine.
- We found a problem in our own records and I do not know who needs to be told.
- Write down what you know, when you learned it and who is affected, and bring in your attorney or auditor early on anything legal. We help with the practical side: a corrective action plan, communication with a regulator or funder, and controls so it does not recur. A call is a reasonable first step.
- Most recent Form 990 and state annual filing
- Latest audit or CPA review and any management letter
- Board roster, bylaws and current written policies
- Any notice or letter from a regulator or funder
- List of active grants and contracts
You can call without all of these. We will work out the rest with you.
More in Nonprofits & Community
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